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John Tom

Kestra Investment Services, LLC

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About John Tom

John Tom is a financial advisor with Kestra Investment Services, LLC. John has been in the financial services industry since 2007. John is registered with the state of California, Arizona, Connecticut, Indiana and Oregon. John has passed the Series 6, Series 63 and SIE exams. John's previous experience includes LPL Financial LLC, Stancorp Equities, Inc. and Wells Fargo Investments, LLC.

Firm Information

John Tom is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Tom’s Registration & Firm History

CA

08/10/2017 - Present

Kestra Investment Services, LLC (Pleasant Hill CA)

CA

07/05/2016 - 05/30/2017

LPL FINANCIAL LLC (SAN FRANCISCO CA)

CA

01/29/2008 - 07/15/2008

STANCORP EQUITIES, INC. (SAN JOSE CA)

CA

03/21/2005 - 08/15/2006

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

CT

11/04/2003 - 08/13/2004

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

CA

11/01/2001 - 10/21/2002

TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)

NY

01/02/1996 - 03/10/1997

BARCLAYS GLOBAL INVESTORS SERVICES (NEW YORK NY)

CA

05/26/1994 - 01/02/1996

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

NY

01/10/1994 - 03/16/1994

DIVERSIFIED INVESTORS SECURITIES CORP. (HARRISON NY)

NY

09/05/1991 - 01/10/1994

MONY SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/24/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Tom.
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